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Results: 11-20 of 472

Eleventh Circuit rules that hedge fund investors’ claims are not derivative

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

The Eleventh Circuit recently reversed in part and upheld in part a ruling by the United States District Court for the Southern District of Florida dismissing a complaint brought by investors in a hedge fund and a corporation

NYSE Arca proposes options rule amendments regarding anti-money laundering compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

On October 28, NYSE Arca, Inc. filed proposed rule changes with the Securities and Exchange Commission to amend NYSE Arca Options Rule 11.19, which addresses anti-money laundering compliance programs (AMLCPs

FSA reiterates concern over spreading rumors

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • November 21 2008

The UK Financial Services Authority (FSA) devoted most of issue 30 of its Market Watch newsletter (released on November 19) to emphasizing its concerns over the spreading of false or misleading rumors about listed companies

NYSE proposes changes to streamline odd-lot order handling guidance

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2008

On November 6, New York Stock Exchange LLC (NYSE) filed a proposal with the Securities and Exchange Commission to update NYSE Rule 411(b) concerning odd-lot order handling requirements, particularly by adding a new subparagraph to explicitly address fraudulent or manipulative conduct, such as wash sales

Court dismisses portion of securities fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2008

In a securities fraud class action brought against a publicly traded company and its officers, directors and major shareholders, a federal district court granted in part defendants' motion to dismiss claims asserted under Section 10(b) of the Securities and Exchange Act and Rule 10b-5

High Court confirms FSA powers to prosecute insider trading

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 12 2008

On December 2, the Divisional Court of the High Court confirmed that the UK Financial Services Authority (FSA) may independently commence proceedings for suspected insider trading activities under section 402 of the Financial Services and Markets Act 2000 without obtaining the consent of the Director of Public Prosecutions (DPP) or the Secretary of State

FSA launches further insider dealing prosecution

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 9 2009

On January 7, the UK Financial Services Authority (FSA) charged Neil Rollins at the City of Westminster Magistrates' Court with insider dealing and money laundering offenses

Further fine for market abuse

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 16 2009

In the November 14, 2008, edition of Corporate and Financial Weekly Digest we reported the UK Financial Services Authority's (FSA's) imposition of fines on Filip Boyen and Richard Ralph for dealing in the shares of Monterrico Metals Plc (Monterrico), an AIM-quoted company, on the basis of inside information

CEO granted partial summary judgment on SEC’s Sarbanes-Oxley claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2009

Defendant was the CEO and Chairman of Engineered Support Systems, Inc

Court upholds “asset freeze” against non-parties’ property

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2009

Simultaneous with the Securities and Exchange Commission's filing of a complaint alleging massive securities fraud perpetrated by Joseph Shereshevsky and companies with which he was associated, the SEC obtained an order freezing the defendants' assets